Search for: "First Jersey Securities, Inc. v. SEC"
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4 Mar 2024, 5:56 pm
ICON Health &Fitness, Inc., 572 U.S. 545, 553 (2014), and the text of the CTA is wide-ranging inscope. [read post]
1 Dec 2023, 10:14 am
Field preemption in the context of securities regulation is somewhat murky, but certain complex forms of securities enforcement have traditionally been the domain of the SEC and other federal agencies. [read post]
1 Aug 2023, 4:27 pm
The United States Securities and Exchange Commission (“SEC”), for example, has focused on ESG by investigating and taking action against companies that tout business practices such as consideration of environmental sustainability, but fail, in practice, to live up to their claims. [read post]
9 May 2023, 9:01 pm
There is reason to believe the SEC’s new universal proxy Rule 14a-19 will result in more stockholder nominees being elected to the boards of public companies. [read post]
24 Aug 2022, 9:01 pm
The SEC’s complaint charges Vale with violating Section 10(b) of the Securities and Exchange Act of 1934 (the “Exchange Act”) and Rule 10b-5 thereunder, as well as Sections 13(a) of the Exchange Act.[13] On May 23, 2022, the SEC announced the settlement of charges against BNY Mellon Investment Adviser, Inc. [read post]
11 Mar 2022, 1:05 pm
BlockFi Lending LLC (BlockFi) is a New Jersey-based financial services company owned by BlockFi, Inc. [read post]
19 Jul 2020, 7:17 am
Vasquez, Inc. v. [read post]
15 Apr 2020, 6:06 am
3M Company v. [read post]
5 Jan 2020, 2:52 pm
Supreme Court’s March 2018 entry of its opinion in Cyan, Inc. v. [read post]
5 Jan 2020, 2:52 pm
Supreme Court’s March 2018 entry of its opinion in Cyan, Inc. v. [read post]
1 Aug 2019, 8:30 am
This has included a $280 million settlement in United States of America ex rel Ven-A-Care of the Florida Keys, Inc. v. [read post]
2 Apr 2019, 8:11 am
The North American Securities Administrators Association, Inc. [read post]
24 Jan 2019, 2:36 pm
For instance, in SEC v. [read post]
20 Nov 2018, 2:28 pm
Supreme Court’s February 2018 decision in Digital Realty Trust, Inc. v. [read post]
24 Oct 2018, 4:33 pm
First, the SEC initiated an internal investigation into the cause of the data breach. [read post]
15 Oct 2018, 7:05 am
This week the Court released the calendar for arguments at the end of November and into December these cases are: Apple, Inc. v. [read post]
30 Apr 2018, 2:19 pm
Such harmony would be welcomed by cryptocurrency firms like industry leader Coinbase, Inc., a company with first-hand experience with the challenge of answering to multiple regulators. [read post]
23 Apr 2018, 4:37 am
Jason Howard, J.D.The United States District Court for the District of New Jersey has determined that a former UBS employee's testimony before FINRA did not equate to providing information to the SEC as required by the Dodd-Frank Act’s definition of “whistleblower” (Price v. [read post]
14 Feb 2018, 2:57 pm
In SEC v. [read post]
2 Oct 2017, 4:50 pm
The first outsider trading SEC enforcement action was SEC v. [read post]
